malouf, dennis j. - sec · lq 1118/2012 11 12/16/2009 in re dennis j. malouf administrative...

1

Q

.8. 8/17/2004

.2 6/112010

lQ

11 6/3/2009

12 4/20/2011

n 2007 through 2012

14

.ll 2007 through 2012 Amended

. 2010 lQ 1118/2012

11 12/16/2009

IN RE DENNIS J. MALOUF ADMINISTRATIVE PROCEEDING NO. 3-15918

DIVISION'S LIST OF EXHIBITS ADMITTED AND OFFERED BUT NO December 8, 2014

Kirk Hudson's response to document subpoena 83:7

UASNM's response to document subpoena 83:7

Asset Purchase Agreement between Universal Advisory 83:7 Inc. and U Inc. and Joe

UAS: Operating Structure as of June 2010 83:7

Marketing piece called Universal Advisory Services, Inc., An 11124 Overview of Our Firm Email from Enrique Alvarez to Mike Ciambor re: UASN 83:7

Issues String of emails between Gerry Maddoux and Dennis Malouf 83:7 re: stocks Spreadsheet of financial statements and a collection of the 11124 UASNM financial statements from 2007 2012 Diagram of the UASNM office layout 83:7

Compliance Manual for Universal Advisory Services NM, Inc. 83:7

Branch Manager Review Detail Report 83:7

Email from MONICAP to Kirk and cc'd to Paula; Dennis re: RJ 83:7 fees

1

X HUDSONOOOOOO 1 -HUDSON0000003

X UASNMOOOO 16-UASNM0000024

X HUDSON0000005 -HUDSON0000046

X ACA000432-0004654 -ACA000432-0004656

adm UASNM0019693-UASNM0019717

X ACA000432-00 13 502

X UASNM0132068-UASNM0132070

not UASNM0023029 -adm UASNM0023076

X RJFS-SEC-UASNM-000975

X ACA000432-0012444-ACA000432-0012547

X RJFS-SEC-UASNM-001561 RJFS-SEC-UASNM-001565

X UASNM0080767

12 112112009 Email from Joe Kopczynski to Dennis cc'd to Kirk Hudson re: 83:7 X UASNM031515-reducing market exposure; including email chain UASNM031516

20 7/28/2011 Emails between Joe Kopczynski and Mike Ciambor re: Audit 83:7 X ACA000432-00 10041 -ACA000432-00 10042

Zl 3/26/2011 Email from Kirk Hudson to Dennis Malouf re: disclosure 83:7 X UASNM0134738 question

22 3/2112011 Emails between Kirk Hudson and Dennis Malouf and Monica 83:7 X UASNM0134801 -Villa re: input on securities sold UASNM0134802

23 UASNM's Answer and Response to Interrogatories and 83:7 X Requests for Admissions

24 2/4/2008 Form ADV, Part II for UASNM 83:7 X UASNM0425-UASNM0443

25 10/112009 Form ADV, Part II for UASNM 83:7 X UASNM1455-UASNM1473


27 4112/2010 Fonn ADV, Part II for UASNM 83:7 X UASNM0358-UASNM0380


29 Trade blotter for Raymond James 83:7 X RJFS-Malouf-000 150 -RJFS-Malouf-000226

30 8-17-04 to Spreadsheet of Bond Trades 8-17-04 to 5-13-11 127:7 MaloufSEC000077 -5-13-11 MaloufSECOOO 13 2

34 First Amended Verified Complaint for Injunctive Relief, 83:7 X Declaratory Judgment, Debt Owed, Breach of Fiduciary Duty, Shareholder Oppression, Breach of Employment Agreement, Misrepresentation and Fraud (with handwritten notes)

34A First Amended Verified Complaint for Injunctive Relief, 83:7 X Declaratory Judgment, Debt Owed, Breach of Fiduciary Duty, Shareholder Oppression, Breach of Employment Agreement, Misrepresentation and Fraud (without handwritten notes)

2

35 9/10/2007 UASNM Compliance Program Review, Findings & 83:7 X UASNM2024-Recommendations Report UASNM2066

36 9/30/2008 UASNM Compliance Program Review, Findings & 83:7 X ACA000432-0013870-Recommendations Report ACA000432-0013914

37 12/4/2009 UASNM Compliance Program Review, Findings & 83:7 X ACA000432-0013157-Recommendations Report ACA000432-0013207

38 3/23/2011 UASNM Compliance Program Review, Findings & 83:7 X UASNM2551-Recommendations Report UASNM2609

39 12/13/2011 Emails between Joseph Kopczynski and Mike Ciambor re: 83:7 X ACA000432-0007733 -Report w/attached UASNM Annual Compliance Review ACA000432-0007777 (DRAFT)

40 9/27/2012 Emails between Mike Ciambor and Barry P. Schwartz re: UAS 342:24 ACA000432-000631 0 -Custody comment ACA000432-0006313

42 8/22/2013 Monica Villa's background questionnaire 83:7 X 43 5/15/2007 RJFS Registered Branch Assistant Questionnaire 83:7 X RJFS-SEC-UASNM-

000952 RJFS-SEC-UASNM-000955

44 9/6/2011 Steven McGinnis' transcript from the litigation UASNM, Inc. v. 423:16 Dennis Malouf with exhibits (with handwritten notes)

44A Steven McGinnis' transcript from the litigation UASNM, Inc. v. 11/24 not Dennis Malouf with exhibits (with handwritten eratta pages) adm

45 3/21/2013 Letter to John Mulhern from Williams D. Nelson enclosing 83:7 X Maloufs supplemental answers and documents

48 1117/2013 Letter to John Mulhern from William D. Nelson enclosing 83:7 X Maloufs response to subpoena

49 String of emails between William D. Nelson and John Mulhern 83:7 X re: Maloufs 2010, 2011 and 2012 tax returns

50 2010 2010 Form 1040 for Dennis J. Malouf and Aubrey M. 83:7 X Kopczynski ( unfiled)

.21 2006 2006 Form 1040 for Dennis J. Malouf and Aubrey M. 83:7 X MaloufSECOO 1162 -Kopczynski (unfiled) MaloufSEC001198

52 2007 2007 Form 1040 for Dennis J. Malouf and Aubrey M. 83:7 X MaloufSECOO 1199 -Ko12_czynski _{_unfiled) MaloufSEC001227

3

53 2008 2008 Form 1040 for Dennis J. Malouf and Aubrey M. 83:7 X MaloufSEC001228-Kopczynski ( unfiled) MaloufSECOO 1256

55 8/20/2013 Dennis J. Malouf background questionnaire 83:7 X 56 4/23/2007 Raymond James Commission Ranking Report - Customize 83:7 X RJFS-SEC-UASNM-

000874- RJFS-SEC-UASNM-000878

57 112/2008 Purchase of Practice Agreement between Dennis Malouf and 83:7 X MaloufSEC000133-Raymond James Financial Services, Inc. and Maurice Lamonde MaloufSECOOO 144

58 7/12/2006 DVP accounts for various custodians 83:7 X MaloufSECOOO 145 -MaloufSECOOO 151

59 5/12/2009 Email from Kirk Bell to Maurice Lamonde re: Follow Up to 83:7 X RJFS-SEC-UASNM-Our Conversation 5/12/2009 000119

60 5/2112009 Emails between Maurice Lamonde and Kirk Bell re: Personal 83:7 X RJFS-SEC-UASNM-Financial Statement 000136- RJFS-SEC-

UASNM-000138 63 4/18/2008 Raymond James Commission Ranking Report- Customize 83:7 X RJFS-SEC-UASNM-

001001 - RJFS-SEC-UASNM-001017

64 7/22/2010 Email from Kirk Bell to David Patchen and cc'd to Nicole 83:7 X RJFS-SEC-UASNM-Caringal; Ian Beresford re: please call me; 7/22/2010 email 001835 from Eva Skibicki

65 9117/2010 Emails between Kirk Bell and Eva Skibicki 83:7 X RJFS-SEC-UASNM-001876- RJFS-SEC-UASNM-001877

66 11119/2008 Excerpt from Universal Advisory Services, Inc.'s website as of 11124 adm November 18, 2008

68 5/3/2009 Excerpt from Universal Advisory Services, Inc.'s website as of 11124 adm May 3, 2009

69 7/2112010 Excerpt from Universal Advisory Services, Inc.'s website as of 11124 adm July 21, 2010

70 7117/2006 UASNM Form ADV Part II 83:7 X UASNM1376-UASNM1400

4

11 2114/2011 Emails between Mike Ciambor and Dennis Maloufre: ADV 83:7 X UASNM0069857 -UASNM0069859

74 2006 Maurice Lamonde's 2006 Tax Returns 83:7 X LAMONDEOOOO 109 -LAMONDEOOOO 134

75 2007 Maurice Lamonde's 2007 Tax Returns 83:7 X LAMONDE0000135-LAMONDEOOOO 154

76 2008 Maurice Lamonde's 2008 Tax Returns 83:7 X LAMONDE0000155-LAMONDE0000179



79 2011 Maurice Lamonde's 2011 Tax Returns 83:7 X LAMONDE0000223 -LAMONDE0000247

80 12/13/2007 Emails from Kirk Bell to Dennis Malouf; Maurice Lamond and 83:7 X RJFS-SEC-UASNM-cc'd to John Holecek; David Patchen; Tina Solomon; Jared 001828 - RJFS-SEC-O'Neal re: Transition to lAD UASNM-001829

hl 12/14/2007 Raymond James Financial Services, Inc. Independent Associate 83:7 X RJFS-SEC-UASNM-Agreement with Maurice Lamonde 12/14/2007 000699 - RJFS-SEC-

UASNM-000709 82 12119/07- Emails between Jared O'Neil and Kirk Bell with an attachment 83:7 X RJFS-SEC-UASNM-

12/21107 of an email from Bell to Malouf and Lamonde 001827 83 112/2008 Emails between Jared O'Neil and Maurice Lamonde re: RJFS- 83:7 X RJFS-SEC-UASNM-

ICD FA Termination **Joining lAD** 001822 - RJFS-SEC-UASNM-001823

84 4/2112008 Raymond James Financial ServicesBranch Manager 2007 83:7 X RJFS-SEC-UASNM-Annual Compliance Interview 000794 - RJFS-SEC-

UASNM-001061 85 5/8/2008 Compliance Memorandum from Catherine Doney to Moe 83:7 X RJFS-SEC-UASNM-

Lamonde re: Branch Examination on 4/2112008, branch 4GE 000981 - RJFS-SEC-UASNM-000983

5

86 5/25/2010 Raymond James Financial Services, Compliance Interview 83:7 X RJFS-SEC-UASNM-001578 - RJFS-SEC-UASNM-001589

87 5/20/2010 Raymond James Commission Ranking Report 83:7 X RJFS-SEC-UASNM-001294- RJFS-SEC-UASNM-001296

88 3/11/2009 Emails between Maurice Lamonde and Barbara Lamonde re: 83:7 X RJFS-SEC-UASNM-paying Dennis out of wrong account 000112- RJFS-SEC-

UASNM-000113 89 4/28/2009 Emails between Maurice Lamonde and Barbara Lamonde re: 22:22 RJFS-SEC-UASNM-

Situation 000114 - RJFS-SEC-UASNM-000115

.90 5/14/2009 Email from Maurice Lamonde to Barbara Lamonde attaching 11124 adm RJFS-SEC-UASNM-Purchase of Practice Agreement. doc 000122- RJFS-SEC-

UASNM-000128

21 5/12/2009 Email from Kirk Bell to Maurice Lamonde attaching email 83:7 X RJFS-SEC-UASNM-from George Chiariello re: For Your Review - FYI Only 000116

92 6111/2009 Email from David Patchen to Kirk Bell re: Region Five Bi- 83:7 X SEC-RJFS-E-000023 3 Weekly Compliance and Sales Management Meeting Conducted on June 3rd, 2009, enclosing email chain

93 7/29/2009 Email from Kirk Bell to Maurice Lamonde and cc'd to David 83:7 X SEC-RJFS-E-000023 2 Patchen; Rob Blemis re: Peter Lehrman and Universal Advisory Services

94 May to String ofEmails between Kirk Bell and Maurice Lamonde re: 83:7 X RJFS-SEC-UASNM-November Loans 000150 - RJFS-SEC-2009 UASNM-000 155

95 6/3/2010 Email from Kirk Bell from Maurice Lamonde re: Branch 4GE 83:7 X RJFS-SEC-UASNM-Moe Lamonde/Dennis Malouf agreement 000158- RJFS-SEC-

UASNM-000159 96 6/3/2010 Email from Sarah Cray to Kirk Bell; Nicole Caringal; Gerri 83:7 X RJFS-SEC-UASNM-

Kavouklis Price; Ian Beresford re: Branch 4GE Moe 000156- RJFS-SEC-Lamonde/Dennis Malouf agreement UASNM-000157

6

97 6/10/2010 Email from Eileen O'Dmmell to Kirk Bell and cc'd to Maurie 83:7 X RJFS-SEC-UASNM-Lamonde re: 4GE Purchase Agreement w/attachment 000160 - RJFS-SEC-

UASNM-000166 98 6/11/2010 String of emails re: 4GE Purchase agreement 83:7 X RJFS-SEC-UASNM-


99 6/30/2010 Email from Shane Coley to Maurice Lamonde and cc'd to Glen 83:7 X RJFS-SEC-UASNM-Elmblad; Nicole Caringal; Sherry Cochran; David Patchen; 000172 - RJFS-SEC-Kirk Bell; Tina Solomon; Ian Beresford re: 2010 Compliance U ASNM -000177 Examination Report - 4GE

100 August to String of emails between Kirk Bell and Maurice Lamonde re: 83:7 X RJFS-SEC-UASNM-September UAS 000172 - RJFS-SEC-2010 UASNM-000199

101 1211 7/2008 to Payroll Advances 11124 adm RJFS-SEC-UASNM-4/16/2009 001777

102 5/20/2010 Email from Gerri Kavouklis Price to Shane Coley re: Payroll 11124 adm RJFS-SEC-UASNM-Advances - 4GE 001392

103 11/22/2008- Raymond James Financial Services Payroll Statement 83:7 X RJFS-SEC-UASNM-12/08/2008 008064 - RJFS-SEC-

UASNM-008096 104 2008 Lamonde's 2008 Wells Fargo Bank Statements 83:7 X MLAMONDEOOOOOOl

-MLAMONDE0000090

105 2009 Lamonde's 2009 Wells Fargo Bank Statements 83:7 X MLAMONDE0000091 -MLAMONDE

106 2010 Lamonde's 2010 Wells Fargo Bank Statements 83:7 X MLAMONDE0000163 -MLAMONDE0000274

107 2011 Lamonde's 2011 Wells Fargo Bank Statements 83:7 X 108 12/6/2008- Raymond James Financial Services Payroll Statement for 83:7 X RJFS-SEC-UASNM-

12/19/2008 period 12/6/2008 - 12119/2008 008097 - RJFS-SEC-UASNM-008153

7

109 12/20/2008- Raymond James Financial Services Payroll Statement for 83:7 X RJFS-SEC-UASNM-1/2/2009 period 12/20/2008 - 1/2/2009 008154 - RJFS-SEC-

UASNM-008208 110 113/2009- Raymond James Financial Services Payroll Statement for 83:7 X RJFS-SEC-UASNM-

1123/2009 period 1/3/2009 - 1/23/2009 008209 - RJFS-SEC-UASNM-008245

111 1/24/2009- Raymond James Financial Services Payroll Statement for 83:7 X RJFS-SEC-UASNM-2/6/2009 period 1/24/2009- 2/6/2009 008246 - RJFS-SEC-

UASNM-008272 112 Summary of Malouf Bond Trades in Excess of $1 million 11/24 adm

(revised) 116 8/15/2013 Letter to John Mulhern from Mark P. Barracca responding to 83:7 X

RJFS subpoena 119 Raymond James Financial Job Description (Assistant Regional 83:7 X RJFS-SEC-UASNM-

Director- RJFS Regional Management) 001955- RJFS-SEC-UASNM-001957

120 11/11/2011 RFJS Compliance Manual Revised 11/11/2011 83:7 X RJFS-SEC-UASNM-005348 - RJFS-SEC-UASNM-005351

121 1129/2008 RFJS Compliance Manual Revised 1/29/2008 83:7 X RJFS-SEC-UASNM-004553 - RJFS-SEC-UASNM-004555

122 1/112007- 4GE RJFS Supervision (January 1, 2007 through December 31, 83:7 X RJFS-SEC-UASNM-12/31/2011 2011) 001892

123 Revised RJFS Compliance Manual- General Compliance Overview: 83:7 X RJFS-SEC-UASNM-7/11/2008 Responsibilities and Retention Requirements 003841 - RJFS-SEC-

UASNM-003854 124 Revised RJFS Compliance Manual - Business Locations: Registration, 83:7 X RJFS-SEC-UASNM-

2/13/2009 Requirements & Examinations 003953 - RJFS-SEC-UASNM-003960

125 8/11/2008 RJFS Compliance Manual- Supervisory Alert System 83:7 X RJFS-SEC-UASNM-004432 - RJFS-SEC-UASNM-004436

8

126 Revised RJFS Compliance Manual - Trade Execution & Review 83:7 X RJFS-SEC-UASNM-8/2112009 005189 - RJFS-SEC-

UASNM-005192 127 Revised RJFS Compliance Manual- Mark-ups/Downs 83:7 X RJFS-SEC-UASNM-

8/28/2009 004167- RJFS-SEC-UASNM-004169

128 Revised RJFS Compliance Manual - Fee-based Accounts: Investment 83:7 X RJFS-SEC-UASNM-3/18/2011 Advisor Representative Registrations 005587 - RJFS-SEC-

UASNM-005590 129 Revised RJFS Compliance Manual - Heightened 83:7 X RJFS-SEC-UASNM-

5/24/2011 Supervision/Surveillance 005642 - RJFS-SEC-UASNM-005643

130 1/3112006 RJFS Compliance Manual - Gratuities or Compensation to 83:7 X RJFS-SEC-UASNM-Employees of Others Revised 113112006 004853 RJFS-SEC-

UASNM -004854 131 Revised RJFS Compliance Manual - Unregistered Personnel 83:7 X RJFS-SEC-UASNM-

8/3112011 005992 - RJFS-SEC-UASNM-005993

132 Revised RJFS Compliance Manual - Business Succession Plans 83:7 X RJFS-SEC-UASNM-4/25/2007 003305 - RJFS-SEC-

UASNM -003 307 133 9/9/2005 Memo to Maurice Lamonde from Tim Schultz re: Branch Audit 83:7 X RJFS-SEC-UASNM-


134 2/22/2006 Compliance Memorandum from David Rapport to Moe 83:7 X RJFS-SEC-UASNM-Lamonde re: Branch Examination on 2114/2006 000836 - RJFS-SEC-

UASNM-000839 135 4/23/2007 Emails between David Patchen and Kirk Bell and others re: 83:7 X SEC-RJFS-E-0000271

What's the status with Moe Lamonde 136 7116/2007 Email from Kirk Bell to Jim Fulp and David Patchen re: Set up 83:7 X SEC-RJFS-E-0000266

a meeting with Averitt and Runkle

9

137 7113/2007 and Emails from David Patchen to Kirk Bell re: RJ IM 83:7 X SEC-RJFS-E-0000267 7116/2007 - SEC-RJFS-E-

0000268 138 12113/2007 String of Emails between Kirk Bell, Jared O'Neal, and John 83:7 X RJFS-SEC-UASNM-

Holecek re: Voicemail-Than You 001786 - RJFS-SEC-UASNM-001787

139 12/6/2006 Audit: FA Statistical Analysis as of 12/06/2006 83:7 X RJFS-SEC-UASNM-001065 - RJFS-SEC-UASNM-001079

140 2009 Q1 Branch - FA Matrix (2009 Q 1) 11/24 not RJFS-SEC-UASNM-adm 001778

142 8/15/2008 Email string between Kirk Bell, Maurice Lamonde and others 83:7 X SEC-RJFS-E-0000249 re: Payroll Advance - SEC-RJFS-E-

0000250 144 8/13/2009 Email from Kirk Bell to Rob Blenis; Gerri Kavoulkis Price; 83:7 X RJFS-SEC-UASNM-

Saad Rahmouni-Idrissi re: Peter Lehrman and Universal 001961 - RJFS-SEC-Advisory Services attaching emails from Maurice Lamonde UASNM -001964

145 9/3/2009 Compliance Memorandum from Saad Rahmouni to Maurice 83:7 X RJFS-SEC-UASNM-Lamonde re: Branch Examination on 6/8/09 001117 - RJFS-SEC-

UASNM-001120 146 5/19/2010 Email from Gerri Kavouklis Price to Kirk Bell and cc'd to 83:7 X RJFS-SEC-UASNM-

Nicole Caringal; Sherry Cochran re: Payroll Advances 001813 - RJFS-SEC-UASNM-00 1817

149 6/21/2010 Email from Kirk Bell to Nicole Caringal and Ian Beresford re: 83:7 X RJFS-SEC-UASNM-Moe Lamonde 4GE 000171

150 5/24/2010- String of Emails between Kirk Bell and Kris Kaufmann re: 83:7 X RJFS-SEC-UASNM-6/27/2010 Escalating Suitability Alert- Region V (Branch 4GE) 001872 - RJFS-SEC-

UASNM-001875 151 7/112010 Email from Shane Coley to Ian Beresford re: 4GE Exams w/ 83:7 X RJFS-SEC-UASNM-

4GE Exams.doc attachment 001843- RJFS-SEC-UASNM-00 1845

152 7/6/2010 Emails between Ian Beresford and Shane Coley re: 4GE - Mo 11124 not RJFS-SEC-UASNM-Lamonde adm 001862

10

153 7/22/2010 Email from Kirk Bell to Eva Skibicki re: Moe Lamonde 83:7 X RJFS-SEC-UASNM-001861

154 7/23/2010 Email from Kirk Bell to Tina Solomon and cc'd to Nicole 83:7 X SEC-RJFS-E-0000174 Caringal; Sarah Cray; Ian Beresford and David Patchen re: Schedule Calls

155 8/2/2010 Email from Ian Beresford to Kirk Bell re: 4GE - Moe Lamonde 83:7 X RJFS-SEC-UASNM-001842

156 8/4/2010 Email from Shane Coley to Maurice Lamonde and cc'd to Ian 83:7 X RJFS-SEC-UASNM-Beresford; Nicole Caringal; Kirk Bell re: Compliance Exam 000179 - RJFS-SEC-Follow-up - 4GE UASNM-000180

157 9/16/2010 Email from Shane Coley to Kirk Bell attaching email sent to 83:7 X RJFS-SEC-UASNM-Maurice Lamonde outlining items from his exam that were 000200 - RJFS-SEC-incomplete or need further clarification UASNM-000201

158 9/15 to Emails between Ian Beresford and Kirk Bell re: 4GE - Moe 83:7 X RJFS-SEC-UASNM-16/2010 Lamonde 001818

160 2/13/2008- Compilation of Selected Bond Trades from Exhibit 29 (RJFS- 11124 adm 121712009 Malouf-000 150 through 226)

161 11120/2008 Letter to Amal Aly, Esq from James L. Eastman responding to 83:7 X Aly's letter of 11119/2008

164 9/25/2006 Raymond James Financial Job Description (Regional Director- 83:7 X RJFS-SEC-UASNM-RJFS Regional Management) 001952- RJFS-SEC-

UASNM-001954 165 3/15/2013 RJFS-ICD Branch Supervision 83:7 X RJFS-SEC-UASNM-


166 8/9/2001 Letter to Joe Tully from Kosha K. Dalal re: Representative 83:7 X Purchase of Book of Business Pursuant to NASD IM-2420-2 8/9/2001

167 11120/1996 Letter from Robert J. Smith responding to letter of 6/28/1996 83:7 X 168 12/9/1998 Letter to Leslie D. Smith from Robert J. Smith re: issues raised 83:7 X

in letter of 8/27/1998 171 1/16/2013 ACA Compliance Group's 1116/2013 Response to subpoena 83:7 X

11

172 4/1/2002 Consulting Agreement between Adviser Compliance Associates 83:7 X ACA000432-0009425 -LLC and Universal Advisory Services, Inc. ACA000432-0009427

173 effective Consulting Agreement between Adviser Compliance Associates 83:7 X ACA000432-0007246 -10/3112011 LLC dba ACA Compliance Group and UASNM, Inc. effective ACA000432-0007255

10/31/2011 174 effective ACA Personal Trading Compliance License and Service 83:7 X ACA000432-0007429 -

10/3112011 Agreement between Adviser Compliance Associates LLC dba ACA000432-0007443 ACA Compliance Group and UASNM, Inc.

175 October 2011 - String of emails between Cathie Saadeh, Mike Ciambor and 83:7 X ACA000432-0007232 -January 2012 Matt Steinhilber re: UASNM Agreements ACA000432-0007234

176 Q208 UASNM Review Q208 83:7 X ACA000432-0004817


178 4Q08 4Q08 Transaction Ledger 11124 not ACA000432-00 13819 adm




182 6/29/2010 Email from Nikhil Kishore to [email protected] re: 83:7 X ACA000432-0012203 ACA/Blotter Request

184 1113/2009 Emails between Kirk Hudson and Mike Ciambor re: ACA 83:7 X ACA000432-0013319-Follow Up ACA000432-00 13320

185 Q1 & Q2 2011 UAS Best Ex Q1 & Q2 2011 83:7 X ACA000432-0002726 186 Q3 & Q4 2010 UAS Best Ex Q3 & Q4 2010 83:7 X ACA000432-0002727 187 6/112007 Email from Mike Ciambor to Luke Wilson re: UASNM docs 83:7 X ACA000432-00 15266 188 5/26/2010 Emails between Mike Ciambor and Jeremy Szuch re: UASNM 83:7 X ACA000432-0012376-

Engagement ACA000432-0012381

12

189 6/2/2009 UASNM Audit 6/2/2009 through 6/4/2009 83:7 X ACA000432-0004634 -through ACA000432-0004652 6/4/2009

190 10/14/2010 Email from Mike Ciambor to Kirk Hudson re: ACA Follow Up 83:7 X ACA000432-0012127 191 6/9/2010 Email from Mike Ciambor to Dennis Malouf cc'd to Jeremy 83:7 X ACA000432-0012217

Szuch re: RJ Bond Trades 192 10/23/2008 Email from Mike Ciambor to Joseph Kopczynski; Kirk Hudson 83:7 X ACA000432-00 13869

re: Compliance Review Follow Up dated 10/23/2008 193 Demonstrative Exhibit- UASNM ADV Disclosures re RJFS 83:7 X

Conflict oflnterest 194 7/21/2011 UASNM v. Malouf- Malouf Transcript 83:7 X 195 Part 7/21/2011 UASNM v. Malouf- Malouf Video, Parts 1-4 83:7 X l 195 Part 2 195 Part 4 196 Malouf FINRA registration 83:7 X 197 Malouf FINRA Registrations Summary 83:7 X 198 UASNM FINRA Registration/Reporting Status 83:7 X 199 Malouf 2009 Tax Return (not filed) 83:7 X MaloufSEC001261-

001281 200 Malouf2011 Tax Return (not filed) 83:7 X MaloufSEC001312-

001363 201 Summary of Payments made by Lamonde to Malouf 83:7 X 202 Summary of Commissions on UASNM bond trading 368:5 203 Summary of Comparison of Commissions Earned by Lamonde 368:5

from Maloufs Trades with Payments Made by Lamonde to Malouf

204 Summ·y ofUASNM Trades- Raymond James Trade Blotter 368:5 205 Summary ofUASNM Trades (U.S., U.S. Government 368:5

Agencies, Munis, & Corporate)- Raymond James Trade Blotter

13

206 Summary ofUASNM Trades (U.S., U.S. Government 342:24 Agencies)- Raymond James Trade Blotter

207 Raymond James Trade Proportion Analysis 368:5 208 Malouf Income Analysis 83:7 X 209 Raymond James Commission Analysis 368:5 210 Commission by Representative Analysis 368:5 211 Raymond James Advance Commission Analysis 368:5 214 Malouf2010 tax return (not filed) 83:7 X

215 8/20/2008 Schedule F of Form ADV 83:7 X MaloufSEC000561-579

216 12/112008 FormADV 83:7 X MaloufSEC000580-604

217 11112010 FormADV 83:7 X MaloufSEC 000624-648

218 8119/2008 E-mail exchange involving Matt Keller re purchase of 83:7 X UASNM0026019 $1,606,673 US Treasury bond from RJ after RJ matched lower Schwab price

219 7117/2008- E-mail exchange re $2.2 million (US Treasury?) bond purchase 83:7 X UASNM0032888 4/2112008

220 711/2009 E-mail from Matt Keller to Monica Pineda re $600,000 US 83:7 X UASNM0033287 Treasury bond purchase from Schwab (which beat RJ price)

221 4117/2008- E-mail re $1.125 million (Federal Home Loan Bank?) bond 83:7 X UASNM0044516 -4/21108 purchase where RJ matched Schwab offer UASNM0044517

222 2005 thm 2010 Malouf 2005 through 2010 Profit and Loss 83:7 X SEC-PGM-P-0000022-24

223 2008 Malouf 2008 Balance Sheet 83:7 X SEC-PGM-P-0000012-13

224 2008 2008 Ledger of payments from Lamonde to Malouf 83:7 X SEC-PGM-P-0000017 225 2009 2009 Ledger of Malouf Payments from Lamonde 83:7 X SEC-PGM-P-0000025 226 1011/2013 Investigative Testimony Transcript of Kirk E. Bell 83:7 X 227 10/23/2013 Investigative Testimony Transcript of Paula Calhoun 83:7 X

14

228 10/4/2013 Investigative Testimony Transcript of Michael Ciambor 83:7 X

229 8/27/2013 Investigative Testimony Transcript of Kirk R. Hudson 83:7 X 230 8/28/2013 Investigative Testimony Transcript of Joseph Kopczynski 83:7 X 231 9/9/2013 Investigative Testimony Transcript of Dennis J. Malouf 83:7 X 232 10/2/2013 Investigative Testimony Transcript of David B. Patchen 83:7 X 233 9/9/2013 Investigative Testimony Transcript of Monica Villa 83:7 X 234 Amended by FINRA 2420. Dealing with Non-Members 83:7 X

SR-NASD-35-39 eff. August 30, 1996 and SR-NASD-98-86 eff. Nov. 19, 1998

235 11120/2008 Letter from James Eastman, to Amal Aly re Request for No- 83:7 X Action Relief Relating to NYSE Rule 353(b) and NASD IM-2420-2

236 3/18/2013 Letter from Joseph Furey to Amy Lee, Packerland Brokerage 83:7 X Services

237 10/112014 SEC Release No. 34-7310; File No. SR-FINRA 2014-037 83:7 X 238 6/23/2011 Email from Miller to Malouf re Sch C 83:7 X SEC-PGM-P-0000197-

213 239 9/17/2013 Investigative Testimony Transcript of Maurice Lamonde 83:7 X

(highlighted) 240 6/9/2011 Malouf Affidavit 83:7 X UASNM0119349-358 241 10/10/2014 Email from R. Jamieson to S. Mckenna 83:7 X 242 10/13/2014 Email from Jamieson 83:7 X 243 10/22114 Expert Report of Gary Gibbons 11124 adm 244 10/29/14 Gibbons' Rebuttal of Wolper and DeNigris Reports 11124 adm 245 7/21114 Maloufs Answer and Affirmative Defenses 11124 adm 246 11/7/14 Respondent Maloufs Pre-Hearing Brief 11/24 adm

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malouf, dennis j. - sec · lq 1118/2012 11 12/16/2009 in re dennis j. malouf administrative...

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